Compliance Officer at Barclays Bank

The Compliance officer will be required to:

Provide specialist assistance to business and the Barclays Africa Group compliance officers with the management of the compliance risk attached to specified categories of regulatory requirements, the compliance framework and to implement and maintain specified compliance policies and internal controls.

Main accountabilities and approximate time split

Accountability

Time split 80%

Operational duties – 80%

Outputs:

• Draft basic compliance and operational Risk Management Plans (RMP) including internal controls
• Conduct Monitoring of special reviews, Post Implementation reviews and Hot Spot Reviews
• Pro-actively monitor key risks in terms of allocated regulatory requirements
• Maintain Compliance Risk Profile Workshop Documents in respect of allocated regulatory requirements
• Develop relevant compliance tools for the allocated regulatory requirements
• Perform compliance due diligence reviews on request and co-ordinate compliance due diligence reviews
• Ensure commercially sound compliance guidance and support in respect of allocated regulatory requirements
• Actively participate in process re-engineering, product development and other project meetings
• Conduct quality assurance of compliance – documents, audit programmes and findings
• Process Cross Border Services Applications
• Drive specialist awareness activities and presentations to business areas and focus groups

Accountability

• Time split 10%
  Reporting – 10%
  • Facilitate the submission of any Compliance Officer Reports related to allocated regulatory requirements including reviews in support thereof
  • Submit detailed monthly reports of activities covered to Head Central compliance
  • Provide input into the Legal Risk Compliance Forum (LRC) meetings
  • Accountability
• Time split 10%
• Stakeholder Management – 10%
  • Promote and sustain an ethical corporate culture that values responsible conduct and compliance with internal and external obligations;
  • Liaise with applicable Regulatory Authorities
  • Participate in industry-related initiatives and establish networks with key role players
  • Provide reports and assist with queries from stakeholders.

Technical skills / Competencies

• Deciding and initiating action
• Relating and networking
• Presenting and communicating information
• Writing and reporting
• Applying expertise and technology
• Analysing
• Planning and organising
• Following instructions and procedures